Kale G. Smith
Professional summary
Kale Gordon Smith, who also goes by Kale Smith, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Kirkland, Washington.
Kale is registered as a RR (Registered Representative) and started their career in finance in 2004. Kale has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kale Gordon Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 3, 2022 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 10230 Ne Points Drive Suite 550, Kirkland, WA 98033October 1, 2018 - September 14, 2021
RFS PARTNERS
May 1, 2012 - June 8, 2018
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
June 5, 2009 - April 25, 2012
LPL FINANCIAL LLC
June 5, 2009 - April 25, 2012
LPL FINANCIAL LLC
April 4, 2007 - June 10, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
March 8, 2007 - June 10, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
November 8, 2004 - March 13, 2007
WAMU INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/21/2025)
(3/3/2022)
(3/4/2022)
(3/3/2022)
(2/21/2025)
(3/28/2022)
Exams
Series 99TO
Date: 5/20/2025
Operations Professional ExaminationFINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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